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Intelligent Online Course evaluation system Using NLP Approach

Behrang Parhizkar, Kerfalla Kourouma, Siti Fazilah, Yap Sing Nian, Sujata Navartnam, Edmund Ng Giap Wen

Faculty of Ict, Limkokwing University of Creative Technology, Cyberjaya, Selangor, Malaysia haniukm@yahoo.com kk@limkokwing.edu.my sitifazilah@limkokwing.edu.my yapsn@limkokwing.edu.my sujata@leadership.edu.my nggiapweng@yahoo.co

Abstract: Every semester students are asked to complete course evaluations at Limkokwing University. The main goal of the course evaluation is to collect feedback from student in order to improve the quality of the education. However, a traditional method of using paper and pencil is the current approach in Limkokwing University. In this paper we proposed an intelligent online course evaluation system that aims to automate this routine in order to facilitate data gathering, analysis and storage. The document is an essential element as it provides a summary of the literature about online course evaluation in the first part of the paper and describes our findings on the approaches use for text mining in the second part. And finally we discussed about the proposed system and the implementation of Natural Language Processing. KeyWords: Online Course evaluation, data mining, Natural Language Processing.

1. Introduction

The evolution of technology and computer reveals the Internet as the fastest medium of communication where the

information is at your fingertips. This evolution has brought

a new era where real time information are being accessed

from everywhere. As part of that evolution the education has come to the level where universities, lecturers and students communication through internet. We are living the era of virtual world where everything seems to be transformed from physical to digital form. Thus, new concepts such as

virtual classrooms and digital libraries have been introduced

to break the barriers of education and meet challenges of the

new millennium. The Idea of online course evaluation system is to abandon the paper evaluation system that has been used for years. The evolution from paper to online student evaluation system is an innovative idea of the new millennium where everything is been automated and accessed from home., If students can study online and register online why not evaluate their lecturer online? Despite the growth of World Wide Web, the online course evaluation remains a new topic to many institutions of higher education. Most of them are stuck on the traditional approach and have problem to move

on by introducing the web-based approach. However some universities have conducted research and implemented the online course evaluation and have found it effective. Online evaluation system promises a lower costs compared to paper-based evaluation. In addition it saves time for the faculty, anonymity for students, better safeguards against tampering, and more flexibility in questionnaire and report design [2]. Just like any normal system, the online evaluation system also has some drawbacks which include easy sensitive data access by unauthorized users, lower response rates and ratings may be less favourable to lecturers. In this paper we discuss about the argument over the online and offline course evaluation method. We also discuss about the evolution of online course evaluation system, and we presented an intelligent online course evaluation proposed to replace the current paper method use in Limkokwing University.

2. Previous Works

2.1. Evolution of Course evaluation According to Haskell the student evaluation of faculty members was first used at the Univeristy of Wisconsin in the early 1920s to collect studentsfeedbacks. Many other universities introduce it in the 1960s as a decision-support tool regarding salary, promotion, and tenure. Since then it has been the dominant method for evaluating teaching across North America, and continue to be the same today but used for formative purpose to help faculty improve teaching instead of summative decisions regarding salary, promotion, tenure and merit. With the emergence of internet we were introduced to online evaluation system in the 1990s. In 1997, Columbia University implemented their Web course Evaluation system [30]. This system allowed faculty to customize their surveys and was linked directly to the registrars office for security. The result of evaluation was published on a public web where anyone could view. In Australia, Deakin University recognized the potential

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savings in time and expense they would gain by shifting from traditional evaluation to an online evaluation system [31]. Before the implementation of their online system in 1998, off-campus students used to mail their evaluation form and the compilation of these forms into electronic form could take up to 3 months to complete. The implementation of an HTML and CGI-based online system raised the response rate to 50% in 1997. Then later after the implementation the complete online evaluation system, online and offline student could log in with their unique ID and complete the evaluation. In the late 1990s two (2) other universities in china (HKUST, HKU and HKPU) collaborated to create 2 online evaluation systems [32]. COSSET (Centralised Online System for Student Evaluation of Teaching) and OSTEI (Online System for Teaching Evaluation of Instructors). Comparatively, COSSET provided more features than OSTEI and relied on registration information for student logins while OSTEI used a combination of instructor ID and questionnaire ID for logins which was less secure. But OSTEI was flexible and allowed instructor to register and create their own questionnaire and also provided a bank of 800 questions to allow custom questionnaire. Another system was implemented by Drexel University [30]. This system was based on HTML, SQL and the Perl scripting language. Instructors would submit their questions on a template email which would be uploaded as evaluation forms into the system. The students name and birth date were used to log in and complete the evaluation. to encourage more participation, E-mail was used as main means of communication between students and the faculty to remind student about completing the evaluations. According to Hmieleski in a report on higher education in 2000, only 2 institutions ranked as the most wired were using the online evaluation among the 200 wired- institutions in Australia. However In 2002, the online evaluation system was still considered limited in higher education. Electronic Evaluation Method Vs Traditional paper Method:

Many Universities hesitate to convert to web-based evaluation due to fears regarding cost, return rates, and response quality [1] but in one of the previous studies on this topic, [4] compared traditional course evaluation with online evaluations at Rutgers College of Pharmacy. they compared the evaluation rates of both methods and found that the paper had a evaluation rate of 97% with a response rate of 45% to the open-ended questions whereas online method had an evaluation rate of 88% and a response rate of 33% for the open-ended questions. Dommeyer also conducted a survey to determine preferred method of student appraisal where the tagged was a group of business professors [3]. Out of 159 faculty members, 33% responded and there was a preference for the paper evaluation because they believed it has a higher response rate and accurate response. It was concluded that the online approach could be more appealing to faculty members if techniques could be used to increase studentsresponse rates.

In 2002 and 2004, Teaching Questionnaire ratings were collected online in several University departments in Pilot tests. A low performance of web-based Teaching Questionnaire compared to the standard was observed in the tests with a lower response rate and less favourable responses [2]. Several studies demonstrated the low response rate provided by the web-based questionnaires which are illustrated in Table 1.

Table 1: comparison between web Based and Paper approach

Researchers

Yea

Web

Mail/

r

Based/

pape

E-mail

r

Medlin et al

1999

28%

47%

Guterbock et al

2000

37%

48%

Kwak and Radler

2000

27%

42%

Crawford et al

2001

 

35%

Ranchlod & Zhou

2001

20%

6%

A research since 1986 [11] noticed a drop of email-survey

response rates from 46% in 1995/1996 to 31% in 1998/1999. Other research also noticed a drop of response

rates in a survey completed in 1995 and 1998 [12]. Layne also was conducted a comparative study between

electronic and paper course evaluation [13]. In this survey a number of 2,453 were evaluated using the same question in the electronically and paper-based evaluation. The response rate was 60.6% for the class evaluation against 47.8% for the online evaluation. Another research that conducted in 2000 had a very less participation of student in the online- based evaluation, and the reason was that students were satisfied with their lecturersperformances which give them an excuse not to fill the evaluation form [14]. Students found the online evaluation easy to use and liked it because

of

the anonymity. The online method gave them the ability

to

provide more thoughtful comment than the traditional

method. However some researchers found a positive result in email response rates. Unlike table 1, Tables 2 provides the findings that demonstrates high response rate for online evaluation over the traditional approach.

Tables 2: Comparison between E-mail and Mail Evaluation

Authors

Year

Email

Mail

Parker

1992

60%

38%

Kiesler &

1986

67%

-

Sproull

Walsh et al

1992

76%

 

Jaclyn M,

1998-2002

64%

 

Grahan H

Some others researchers in their research stated that the advantage of E-mail or web based survey over traditional method is that Paper resource use savings decrease costs by

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80 to 95% [11] [19] [20]. Compared to a normal mail survey

it is cheaper and the cost decreases as survey size increases

[21]. In addition, students provide more answers to the open ended question online [21] [12], according to another research on 1998 email surveys are cheaper and faster than paper surveys, encourage respondents to reply and can provide a friendly environment [22]. According to [3], St. Louis College of pharmacy compared the traditional paper with online evaluation. Out of 169 students in the survey, 50 were randomly chosen to complete the same form online, and the other 119 students to complete the traditional paper. This study showed that despite the small number of students completing the online evaluation, they provided more comment than the big amount of student that completed traditionally; and the number of words typed online was 7 times the number of words typed offline. The time spent by students to complete was approximately 10 minutes online VS 25 minutes offline. The staff took 30 hours to compile scores and comment from the paper VS an hour to just download scores and comments from the online survey.

2.2. Web based survey methodology Based on our research we found that either paper or web based survey; the methodology matters as it affects the response rates. A research shows that there is a way to maximise response rates by keeping the questionnaire short and the following up notice is an important aspect that

affects the response rate. A reminder after two days had a completion rate of 30.3% while a reminder after five days had a completion rate of 24.3 %(p<0.050) . In general, two days reminder notice is suggested [6]. But others researchers [23] have found improved response rates with fourth contacts.

In a Crawford et al study, the authors mentioned that the

more complicated is the access to the questionnaire; fewer users are motivated to respond. Researchers have

demonstrated that the ease of access to the survey page is important. Dommeryer and Moriarty showed that an embedded survey with an en easy access had a better response rate compared to an attached questionnaire that requires downloading, completing and uploading the questionnaire [24]. To minimize the download time of questionnaire pages other researchers recommended the use

of simple designs for the system [25]. The question should

be straight forward and simple, in addition each point should ask only one question [26].

A lack of anonymity in the use of email surveys has been

underline as one of the reason of the low response rates [16] [25]. Administrators can track passwords and easily access user answers. Especially with Emails, an author is easily traceable via return email on which the respondent email may be included. And if the survey is designed online and no password, there is no way to follow up on non respondents and there wont be any control over the number

of survey complication per person rates [6].

Some research teams provided recommendation for the methodology to be used. There was a recommendation for

the University to implement an online rating system, including communication and training as essential components of the system. They also recommend comments not to be stored in the database or electronics files after using them as they could be easily accessed by an unauthorized user which reduce the Freedom of Information Act (FOIA). And they also stated that authors of comments and ratings should not be identified during collection of data. And the list of respondents should be deleted from the system and should never be available to the faculty and teachers. In addition they gave recommendation to overcome one of the common concerns of online evaluation system which is low response rates. They forbid Universities to use incentives and sanctions to improve the response but instead, use targeted announcements and frequent follow-up reminders for students during period when the evaluation is being collected. Completion time indicated in the invitation, timing of the reminder notice, access to the survey. Perceived anonymity and confidentiality of responses including reward are factors may affect the email survey response rates [6]. An investigation of another research on 2001 shows that more the time given to complete the survey increases more the response rate decreases because the user will not focus knowing that he has a lot of time to complete it [10]. Online respondent are more distracted with others opened windows and may have less attention. A risk of being attacked by virus is considerable and the download time or number of pages accessed may affect the online survey. Unlike the web-based, these are generally not issues with the paper or mail survey [6]. Due to the big amount of email received by users, it is likely that they may ignore email form unknown senders [10].

3. Text Mining

As the human speak or write English, he uses a lot of word combination to express something or to explain something. Out of 50 words spoken or written, the useful information needed by others might only be 10 to 20 words, the rest are the way to make the English language beautiful. when we read a text, our brain try to get the useful information out of it and try to match it with something store on our mind in order to understand and interpret it for decision support . So does the computer through test mining. Text mining also called text data mining, processes unstructured textual information to extract high quality information through patterns and trends such as statistical pattern learning. Data mining involve the process of structuring text that would be stored in a database and restore later for interpretation. Text mining tasks include text categorization, text clustering, and concept/entity extraction, production of granular taxonomies, sentiment analysis, document summarization, and entity relation modelling. Text mining also called knowledge discovery for text was mentioned for the first time by. Un Yong N. and Raymond

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J. M defined it as the process of finding useful or interesting patterns, models, directions, trends, rules from unstructured text. It refers generally to the process of extracting interesting information and knowledge from unstructured text [32]. It has been describe as truly interdisciplinary method drawing on information retrieval, machine learning, statistics, computational linguistics and especially data mining [32]. That implies that text mining uses techniques for information extraction and natural language processing (NLP) to extract data to which algorithms and methods of KDD can be applied. This technique is widely used by many authors [2] [32]. Text mining was also described as the extraction of not yet discovered information in large collections of texts [35]. It is considered as process oriented approach on texts. For a good comprehension of the topic, there are few terms that you need to be familiar with.

3.1Text Mining Approaches Text mining has several approaches or techniques. Some proposed techniques are knowledge Discovery and Data mining, Information Retrieval, Information Extraction, Knowledge Discovery and Data mining:

Knowledge discovery or knowledge discovery in databases (KDD) is defined by [35] as the non-trivial process of identifying valid, novel, potentially useful, and ultimately understandable patterns in data. It considers the application of statistical and machine-learning methods to discover novel relationships in large relational databases [34]. KDD has for goal finding hidden patterns or facts in a database or text file and includes several processing steps that have to be applied to the data in order to achieve this goal. The main steps defined by Cross Industry Standard process for Data mining (Crisp DM) is shown in Figure 1 namely: phases of Crip DM [10]. Business understanding and Data understanding are the first steps that consist of analysis and understanding of the initial problem. The next step which is Data preparation consist of pre-processing to convert data from textual to a format that can be suitable for the data mining algorithm which is applied at the Modelling phase. The process is completed by an evaluation and deployment of the obtained model.

by an evaluation and deployment of the obtained model. Figure 1: Phases of Crip DM (Andreas

Figure 1: Phases of Crip DM (Andreas H, Andreas N, Gerhard P 2005)

KDD and data mining are two terms that are sometimes confusing and used as synonyms. Reasons given were that Data mining includes all the aspect of knowledge discovery process [33] and that data mining was a part of the KDD- processes or modelling phase of KDD process. However data mining represent the same concept as KDD and has for goal to retrieve useful information in data. It was defined by [33] as the search for valuable information in large quantities of data. For data mining to achieve its goals, few research areas need to be included which are database, machine learning and statistics. Database is not only used to store found information only but it is necessary to support the data mining algorithms for the identification of useful information. Machine learning (ML) is a field of artificial intelligence which consists of developing techniques to allow computers to learn by analysis of data. Statistics deals with science for the analysis of empirical data. Today many methods of statistics are used in the field of KDD [33]. Information Retrieval (IR):

Information retrieval is the finding of documents which contain answers to questions and not the finding of answers itself [35]. IR refers to the research of information using methods, automatic processing of text data and comparison of question and answer. IR is a research area that has been widely used with the growth of World Wide Web. It was first used for automatic indexing. IR also refers to the extraction of information based of keywords such as search engines [33].

3.2Natural Language Processing (NLP) Natural Language Processing refers to text processing for an understanding of human language by a computer. Its goal is to interpret human language through the use of computers [36]. Natural Language Processing is a linguistic analyse technique for a fast text processing. The concept of Natural Language Processing is all about understanding an input in a form of natural language and producing an interpretation of it in sentence in a form of natural language as well through the use of computer. The process of understanding a sentence by the computer in Natural Language Processing is illustrated in Figure 2.

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of Computer and Network Security, Vol. 2, No. 10, 2010 5 Figure 2. Modules of Natural

Figure 2. Modules of Natural language understanding (Josef Leung & Ching-Long Yeh) The pre-processing block reforms the words in the input sentence in various forms of single words. Then the pre- processed is received as input in the parsing block that constructs syntactic structure by referring to a syntax rule database. The syntax rules would specify the type of words (i.e Noun, Verb). Figure 3 demonstrates how a sentence is segmented to form a syntactic structure.

how a sentence is segmented to form a syntactic structure. Figure 3 . A Sample Syntactic

Figure 3. A Sample Syntactic structure (Josef Leung & Ching-Long Yeh) The semantics component represents the meaning of the sentences in a semantic representation. Semantic interpretation maps the syntactic structure of a sentence to the logic based representation which as result is the interpretation of the context-independent meaning of sentence. The process of mapping the semantic representation to the knowledge representation, contextual interpretation, is performed to obtain the way the sentence is used in particular context. Figure 4 illustrates the process of Natural language

Generation that is done based on the user goal. The process accepts any goal input from the user and the text planning consults the planning operators to get an appropriate operator that suit the goal. Then the linguistic realisation linearlises the message content from the hierarchical structure to generate cohesive unit of text then finally maps it into the surface sentences.

of text then finally maps it into the surface sentences. Figure 4. A general architecture of

Figure 4. A general architecture of natural language generation (Josef Leung & Ching-Long Yeh)

3.3Information Extraction (IE) Un Yong N. and Raymond J. M consider it as a key component for text mining with the goal to find specific data in natural-language text [34]. That information is stored in database like patterns and data to be extracted is given by a template containing the information needed and blank field to be filled with information retrieved from the text. Example: my name is kerfalla kourouma, i was born in 1986 in the US. I am married with two children and live in paris. Lets say that from this short text our goal was to know the personal details of the author of the text. The information that would be looking for would be the name, birth date, marital status, address and phone number. Therefore our template would by default contain these titles with blank slot that would be filled with information extracted in the text or document. Name: kerfalla Kourouma Birth date: 1986 Marital status: married Location: Paris

The above information is now in a structure form and can be stored in a database and retrieve later for a further use. From the above example we would describe information extraction as retrival and transformation of unstructured information into structure information stored in a database. Califf suggested using machine learning techniques for extracting information from text documents in order to create easily searchable databases from the information, thus making the information more easily accessible. Text Encoding:

In text mining, its very important to encode a plain text into a data structure for a more appropriate processing. Most text mining approaches are based on the idea that a text document can be represented by a set of words [33].those words are contained in a bag-of-words representation. The

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words are defined using vector representation whereby numerical value is stored for each word. The currently predominant approaches are the vector space model [39], the probabilistic model [25] and the logical model. The Vector Space Model:

The vector space model was introduced first for indexing

and information retrieval [25] but now it is also used for text mining and in most currently available document retrieval systems [33]. It enables efficient analysis of huge text documents by representing them as vectors in m- dimensional space. Each document d is described by a

, x(d, tm))

thus, the documents can be compared by use of simple vector operations and even queries can be performed by encoding the query terms similar to the document in a query vector. The query vector can then be compared to each document and a result list can be obtained by ordering the documents according to the computed similarity [25].

3.4Applications for text Mining Text mining is an area currently used in various domains. Security applications:

Text mining is usually used to analyze plain text source in internet. Text can be filtered by removing some inappropriate terms such as bad word in a chat room. It is used as well to automate the classification of texts. i.e it can be applied to filter undesirable junk email based on certain terms or words that are not likely to appear in normal messages. Those messages can be automatically discarded or routed to the most appropriate department. Analyzing open-ended survey responses:

It is used in survey research in which various open-ended questions about the topic are included. The idea is to allow respondents to express their opinions with no limitation or without constraining them to a particular response format. Text mining is now used in marketing applications to analyze customer relationship management apply it to improve predictive analytics models for customer attrition. This method is often used by marketing to discover a certain set to words used to describe the pros and cons of a product or service. The proposed system falls into this area of application. It will be using the same concept to interpret the student comment in the open-ended question of the student appraisal. Analyzing warranty or insurance clains, diagnostic interviews, etc:

In some business domains, most data are collected in open- ended textual form. For example warranty claims or medical interviews are usually written in text form by a customer to explain the problems and the needs. These information are type electronically and available for input text mining algorithms. And as output, can generate useful structured information that identifies common clusters of problems. Others applications:

Various biomedical applications use text mining such as PubGene, GoPubMed.org and GoAnnatator. Online Media applications uses by media companies such

numerical feature vector w(d) =( x(d, t1),

as Tribune Company use text mining to monetize the content. Sentiment analysis may involve analysis of movie reviews to estimating how favourable a review is for a movie. Academic applications: text mining is an important tool for publishers who hold database of information and require indexing for retrieval. Example of Applications using text Mining:

AeroText: is a package of text mining applications for content analysis. Attensity: can be hosted, integrated or stand-alone text mining software that uses natural language processing technology to address collective intelligence in social media and forums. Endeca Technologies: provides software to analyze and cluster unstructured text. Autonomy: suite of text mining, clustering and categorization solutions for a variety of industries. Expert System- suit of semantic technologies and products for developers and knowledge managers.

4. Proposed System

In our research we noticed that most online course evaluation have common requirements that many programs meet such as user authentication to prevent from unauthorized use of the system and prevent double evaluation, student anonymity that protects them from being trace by their lecturers, user validation and report. However we found that only very few existing system use chart to represent data in the report and none of them allow the system to provide suggestion to the manager based on the students comment. That is the reason we propose an intelligent course evaluation system that will generate a report that includes suggestion and chart. It would be a system that uses algorithms to understand and retrieve from students open-ended responses useful data and interpret it into information for the report.

4.1. Proposed System Features and user Roles

The intelligent online evaluation system would have 3 user roles: The faculty members that would own the admin role, the student and the lecturer role. These roles have different level of access to data and are provided with different features. Students: are the potential stakeholders of this system. Upon log in they are provided questionnaire link for each module that they can evaluate only once. They can see the status of each evaluation questionnaire to know which modules they have not evaluated yet. Their input will be processed and used to generate the report. Lecturers: have a passive or viewer role. They are only able to view students comments related to the course they teach without having a possibility to trace the authors. This would help them to know what student think about the course and would know how to improve their way of teaching. Faculty members: the faculty members are those who can view every single thing except the student name of a

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particular response. They give account to lecturer and student, allocate module to student and lecturer, create, edit and delete questionnaire and view report. The report includes the students feedback, statistical result with chart for every lecturer and suggestion that would help the faculty to take strategic and academic decision. The faculty members would be able to view as well the response percentage of each module and can set starting date and finishing date of the questionnaire. The challenges presented here brought us into other area of research that would allow us to achieve this innovative and very useful change. We conducted research in the area of Artificial Intelligence and to be more specific in text processing method. The idea is to understand the student answers to the open ended question (in Natural language), process it and provide reports and suggestion (in Natural language). In our research we studied various text mining approaches and found the Natural Language processing (NLP) as the suitable approach to meet the system requirement. As the students would be writing their comment in sentence using their ordinary way to speak and write, the system would need a robust natural language analysis to process the students input (sentences) and interpret it to generate a report in sentences. To generate the report in sentences, some element would be needed as input in the report generator at the first place. First, input first as data mining results in a form of rules. Then input the background information such as variables names and categories. The next step is to set the text goal for the report generator to produce sentences accordingly

[29].

4.2. Proposed System Technology

The system will be built using ASP.NET MVC which is a part of the ASP.Net framework newly adopted by Microsoft to improve the productivity when creating web application and improve maintainability of the application as it allows the user to have nimbleness and flexibility in building and maintaining the application. Using this framework to develop our system will ensure the authenticity of the technology as ASP.NET MVC 2.0 was released last month along with Visual Studio 2010. SQL Server 2008 Expression will be used to store and manage the database. SQL Server 2008 is a robust Database management system and easy to connect to visual studio. SyncFusion is third party software that provides content for .Net application. SyncFusion will be used to generate excel report and create chart.

5. Conclusion

The literature presented in this paper outline the previous research and evidence about online evaluation system and shows how important and effective would be to implement the intelligent online course evaluation system to replace the paper and pencil approach in Limkokwing University. The implementation of this system would save time, resource

and reduce work as it would provide chart and suggestion using Artificial Intelligence (Natural Language Processing). With a proper project plan the proposed system would be a platform that would be benefiting the University. Future Enhancement As the time past, new challenges are presented to man-kind. One of the most common challenges of the new millennium is the rapid access of information and very recently the mobility of the information. The technology is moving to mobile computing, and all the businesses are introducing it to have a huge amount of customer. As future enhancement of the intelligent online course evaluation we are planning to provide a platform that would allow student the evaluation of their lecturer through mobile phone and PDA.

Acknowledgment

We would like to express our sincere gratitude to ARASH HABIBI LASHKARI (PHD candidate of UTM) for his supervision and guidance. Also, we would like to express our appreciation to our parents and all the teachers and lecturers who help us to understand the importance of knowledge and show us the best way to gain it.

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[33] H Andreas, N Andreas, P Gerhard, A brief Survey of Text Mining, LDV Forum, Band 20, 2005, Pp 19-56 [34] N Un Yong and JM Raymond ,Text Mining with Information Extraction, American Association for Artificial Intelligence,2002, pp. 60-67 [35] M Hearst,untangling text data mining. In Proc. Of ACL 99 the 37th Annual Meeting of the Association for computational Linguistics, 1999 [36] L Kaufman & Rouseeuw, finding groups in data, an introduction to cluster analysis, 1990 [37] R Feldman & L Dagan,Kdt Knowledge discovery in texts, In Proc. Of the first int. Conf. On knowledge Discovery (KDD), 1995, pp.112-117 [38] G Salton, A wong & C Yang, A vector space model for automatic indexing, Communications of the ACM, 1975, pp. 613-620 [39] G Salton, J Allan & C Buckley, Automatic structuring and retrieval of large text files, Communication of the ACM, 1994, pp. 97-108 [40] R Haskell,Academic freedom, tenure, and student evaluation of faculty, Galloping polls in the 21 st

century,1997

(IJCNS) International Journal of Computer and Network Security, Vol. 2, No. 10, 2010

9

The Effect of Public String on Extracted String in A Fuzzy Extractor

Yang Bo 1 , Li Ximing 2 and Zhang Wenzheng 3

1 College of Informatics, South China Agricultural University, Guangzhou, 510642, P.R. China byang@scau.edu.cn

2 College of Informatics, South China Agricultural University, Guangzhou, 510642, P.R. China liximing@scau.edu.cn

3 National Laboratory for Modern Communications, Chengdu, 610041, P.R. China wzzha ng@163.com

Abstract: A fuzzy extractor is designed to extract a uniformly distributed string from a noisy input in an error-tolerant manner. It has two outputs for a noisy input, a uniformly distributed string and a public string. This paper gives the effect of public string on the entropy loss in a fuzzy extractor, and obtains the relationship between the entropy loss and public string, and the relationship between the size of extracted string and public string.

Keywords: Cryptography, Secure sketch, Fuzzy extractor, Min-entropy, Entropy loss

1. Introduction

To securely derive cryptographic keys from a noisy input such as biometric data, a fuzzy extractor is designed to extract a uniformly distributed string from this noisy input in an error-tolerant manner [1, 2, 5, 6, 7]. A fuzzy extractor has two outputs for a noisy input, a uniformly distributed string which is used as cryptographic key, and a public string which is used to encode the information needed for extraction of the uniformly distributed string. The difference between the min-entropy of the input and the conditional min-entropy of the input given extracted string is defined as the entropy loss of a fuzzy extractor. This paper gives the effect of public string on the entropy loss in a fuzzy extractor, and obtains the relationship between the entropy loss and public string, and the relationship between the size of extracted string and public string. A similar problem in unconditionally-secure secret-key agreement protocol was considered in [3, 4, 8], which dealt with the effect of side-information, obtained by the opponent through an initial reconciliation step, on the size of the secret-key that can be distilled safely by subsequent privacy amplification.

2. Preliminaries

We repeat some fundamental definitions and conclusions in this section. Random variables are denoted by capital letter,

the alphabet of a random variable is denoted by the

corresponding script letter, the cardinality of a set is denoted by . The expected value
corresponding script letter, the cardinality of a set
is
denoted by . The expected value of a real-valued random
variable
is denoted by
is denoted by
. The uniform distribution
over
.
A
useful bound for
, and any
any real-valued variable
(
,
is the set of real numbers) is
any
.
Take
, we have
(1)
The Rényi entropy of order
of a random variable
with
distribution
and alphabet
is defined as
,
for
and
.
The min-entropy of
is
.
The conditional min-entropy of
given
is
.
We have
.

The

statistical

distance

two

with the same alphabet

between

distributions

as

distance two with the same alphabet between distributions as probability is defined . Lemma 1 [1]:

probability

is definedwith the same alphabet between distributions as probability . Lemma 1 [1]: Let be two random

. Lemma 1 [1]: Let be two random variables, if has possible values, then for
.
Lemma 1 [1]: Let
be two random variables, if
has
possible values, then for any random variable
,
A metric space is a
set
with a distance function
, satisfying
if
, and symmetry

and only if and

the

triangle

inequality

. Definition 1. An
.
Definition 1. An

(i) The sketching procedure

inequality . Definition 1. An (i) The sketching procedure -secure sketch is a pair of randomized

-secure sketch is a pair of

An (i) The sketching procedure -secure sketch is a pair of randomized procedures, “ sketch ”

randomized procedures, sketch( ) and recover( ), with the following properties:

returns

takes

a bit string an element

on input .
on input
.

. The recovery procedure

and a bit string

10

(IJCNS) International Journal of Computer and Network Security, Vol. 2, No. 10, 2010

(ii) Correctness: Because If , then . enough such that (iii) Security: For any distribution
(ii) Correctness:
Because
If
, then
.
enough such that
(iii)
Security: For any distribution
over
,
with
, and obtain
if
, then
.
Definition 2. An
randomized
-fuzzy extractor is a pair
with probability approximately 1.
of
procedures,
“generate”
(
)
and
Let
,
if
“reproduce” (
), with the following properties:
,
(i) The generation procedure
outputs an extracted string
on input
and a helper string
.
.The
reproduction
procedure
takes an
Lemma2. Let
element
and a bit string
as inputs.
(ii)
Correctness: If
and
, then
.
with probability at least
Pr oof. From
.
(iii)
Security: For any distribution
over
, if
,
and
, then
we have
,
.
.

is an arbitrary constant, we take it big

is approximately 1, take limit

,
,

is distributed uniformly, then ,

1, take limit , is distributed uniformly, then , Therefore, the lemma1 is a special case

Therefore, the lemma1 is a special case of Theorem1.

be a constant, then

lemma1 is a special case of Theorem1. be a constant, then , From (1), it follows
lemma1 is a special case of Theorem1. be a constant, then , From (1), it follows
,
,

From (1), it follows

The Effect of Public String on Extracted String and the Size of Extracted String

In the following two theorems, we give the relationship

between the entropy loss and the public string in a fuzzy extractor.

-fuzzy extractor, let be a deterministic

function of

. Then with

probability approximately 1, we have

3.

of . Then with probability approximately 1, we have 3. So , . for each ,

So

, .
,
.
. Then with probability approximately 1, we have 3. So , . for each , with

for

each

,
,

with probability at least Because the inequality holds

we have

Theorem 1. In an

,
,
, with probability at least . Theorem2. Let be an arbitrary
,
with probability at least
.
Theorem2. Let
be
an
arbitrary

with probability at least Pr oof. From

be a random variable with alphabet

, andat least Pr oof. From be a random variable with alphabet with alphabet be the same

with alphabet

From be a random variable with alphabet , and with alphabet be the same as theorem1,

be the same as theorem1,

for

.
.
alphabet , and with alphabet be the same as theorem1, for . , and , it
alphabet , and with alphabet be the same as theorem1, for . , and , it

, and

, and with alphabet be the same as theorem1, for . , and , it follows

, it follows that

constant.

Then

Pr oof. We first consider the entropy loss of the Rényi

entropy of order

function of

. Since is a deterministic

entropy of order function of . Since is a deterministic . Interpreting as equation above is
.
.
entropy of order function of . Since is a deterministic . Interpreting as equation above is

Interpreting

order function of . Since is a deterministic . Interpreting as equation above is equivalent to

as

equation above is equivalent to

a

function of

theas equation above is equivalent to a function of or . Let be an arbitrary constant,

as equation above is equivalent to a function of the or . Let be an arbitrary

or

. Let be an arbitrary constant,
.
Let
be an arbitrary constant,
to a function of the or . Let be an arbitrary constant, From (1), we have

From (1), we have

the or . Let be an arbitrary constant, From (1), we have and Lemma2, we have
the or . Let be an arbitrary constant, From (1), we have and Lemma2, we have

and Lemma2, we have

. is
.
is

with probability at least The variance of

we have . is with probability at least The variance of . By chebychef inequality, we
.
.

By chebychef inequality, we have

,
,

or

and

The variance of . By chebychef inequality, we have , or and with probability at least

with probability at least

. Divide by and obtain
.
Divide by
and obtain
. By chebychef inequality, we have , or and with probability at least . Divide by
,
,

with probability at least

(IJCNS) International Journal of Computer and Network Security,

11

.
.

Combined with theorom1, it follows that

Security, 11 . Combined with theorom1, it follows that with probability at least In the following

with probability at least

In the following theorem, we obtain the relationship between the size of extracted string and the public string in a fuzzy extractor. Theorem 3. In a fuzzy extractor

constructed from secure sketch

independent hashing based strong extractor the length of extracted string satisfies

strong extractor the length of extracted string satisfies . and pair- , with probability approximately 1.

.

and pair- ,
and pair-
,
the length of extracted string satisfies . and pair- , with probability approximately 1. Further, let

with probability approximately 1.

Further, let
Further, let

be two constants, satisfy

,
,

, then the length of extracted string

satisfies

satisfy , , then the length of extracted string satisfies Pr oof. From [1], we have

Pr oof. From [1], we have

.
.

From theorem1, it follows

Pr oof. From [1], we have . From theorem1, it follows Let , we have with

Let

, we have
, we have

with probability approximately 1.

If be two constants, satisfy , then from ,
If
be two constants, satisfy
, then from
,

and theorem2, we have

and

.
.

Let

satisfy , then from , and theorem2, we have and . Let , we have with

, we have

, then from , and theorem2, we have and . Let , we have with probability

with probability at least

we have and . Let , we have with probability at least . From theorem3, we

.

From theorem3, we have

, we have with probability at least . From theorem3, we have Therefore, for a fuzzy

Therefore, for a fuzzy extractor to extract a uniformly distributed string with some length from a noisy input, it is necessary that the entropy of public string must be smaller than some value, and the smaller the entropy of public string, the longer the uniformly distributed string extracted by a fuzzy extractor.

Vol. 2, No. 10, 2010

Acknowledgement

This work is supported by the National Natural Science Foundation of China under Grants 60973134, 60773175, the Foundation of National Laboratory for Modern Communications under Grant 9140c1108010606, and the Natural Science Foundation of Guangdong Province under Grants 10351806001000000 and 9151064201000058.

References

[1] X. Boyen, Reusable cryptographic fuzzy extractors,In Eleventh ACM Conference on Computer and Communication Security. ACM, October 25-29 2004.

82-91.

[2]

Smith, Secure remote authentication using biometric data,In Advances in Cryptology-EUROCRYPT 2005, Ronald Cramer, editor, Lecture Notes in Computer Science 3494, Springer-Verlag, 2005, 147-163. [3] C. Cachin, U. M. Maurer, Linking information

X. Boyen, Y. Dodis, J. Katz, Ostrovsky R. and A.

reconciliation and privacy amplification,

EUROCRYPT94, Lecture Notes in Computer Science, Vol. 950, Springer-Verlag, 1995, 266-274. [4] C. Cachin,Smooth entropy and Rényi entropy,In

EUROCRYPT97, Lecture Notes in Computer Science, Springer Verlag, 1997, 193-208. R. Cramer, Y. Dodis, S. Fehr, C. Padró and D. Wichs,

[5]

Detection of Algebraic Manipulation with Applications to Robust Secret Sharing and Fuzzy Extractors,Adv. in Cryptology- EUROCRYPT 2008, Lecture Notes in Computer Science 4965, Springer Berlin,2008, 471-488. [6] Y. Dodis, L. Reyzin and A. Smith, Fuzzy Extractors:

How to Generate Strong Keys from Biometrics and Other Noisy Data,Adv. in Cryptology- Eurocrypt 2004, Lecture Notes in Computer Science 3027, Springer-Verlag, 2004, 523-540. [7] Y. Dodis, J. Katz, L. Reyzin and A. Smith, Robust

Fuzzy Extractors and Authenticated Key Agreement

from Close Secrets,In Advances in Cryptology- CRYPTO06, volume 4117 of Lecture Notes in Computer Science. Springer, 2006, 232-250. [8] Bo Yang, Tong Zhang, Changxing Pei, The effect of side information on smooth entropy,Journal of Discrete Applied Mathematics, 136(2004), 151-157.

Yang Bo received the B. S. degree from Peking University, Beijing, China, in 1986, and the M. S. and Ph. D. degrees from Xidian University, China, in 1993 and 1999, respectively. From July1986 to July 2005, he had been at Xidian University, from 2002, he had been a professor of National Key Lab. of ISN in Xidian University, supervisor of Ph.D. He has served as a Program Chair for the fourth China Conference on Information and Communications Security (CCICS'2005) in May 2005, vice-chair for ChinaCrypt'2009 in Nov. 2009, and general chair for the Fifth Joint Workshop on Information Security (JWIS 2010), in Aug. 2010. He is currently dean, professor and supervisor of Ph.D. at College of Informatics and College of Software, South China

12

(IJCNS) International Journal of Computer and Network Security, Vol. 2, No. 10, 2010

Agricultural University. His research interests include information theory and cryptography.

Li Ximing received the B.A. degree from the Shandong University of Technology, Jinan, Shandong, China, in 1996 and M. E. degree from Jinan University, Guangzhou, China, in 2005. He is currently a candidate of Ph.D. degree in College of Informatics, South China Agricultural University, His research interests include information theory and cryptography.

Zhang Wenzheng received the B. S. degree and the M. S. degree from University of Electronic Science and Technology of China, in 1988 and 1991, respectively. He is currently general engineer at National Laboratory for Modern Communications.

(IJCNS) International Journal of Computer and Network Security,

13

Vol. 2, No. 10, 2010

Analysis of Statistical Path Loss Models for Mobile Communications

Y. Ramakrishna 1 , Dr. P. V. Subbaiah 2 and V. Ratnakumari 3

1 PVP Siddhartha Institute of Technology, Vijayawada, India ramakrishna@pvpsiddhartha.ac.in

2 Amrita Sai Institute of Science & Technology, Vijayawada, India

pvs_ece2000@yahoo.co.in

3 PVP Siddhartha Institute of Technology, Vijayawada, India vemuri_ratna@yahoo.com

Abstract: The ability to accurately predict radio propagation behavior for mobile communications is becoming crucial to system design. Unlike deterministic models which require more computations, statistical models are easier to implement, require less computational effort and are less sensitive to the environmental geometry. In mobile radio systems, most of the models regarding fading apply stochastic process to describe the distribution of the received signal. It is useful to use these models to simulate propagation channels and to estimate the performance of the system in a homogeneous environment. Propagation models that predict the mean signal strength for an arbitrary Transmitter-Receiver (T-R) separation distance are called large-scale propagation models, since they characterize signal strength over large T-R separation distance. In this paper, the large-scale propagation performance of COST-231 Walfisch Ikegami and Hata models has been compared varying Mobile Station (MS) antenna height, T-R separation distance and Base Station (BS) antenna height, considering the system to operate at 850 MHz. Through MATLAB simulation it is observed that the COST-231 model shows better performance than Hata Model.

Keywords: Path Loss, COST-231 Walfisch Ikegami Model, Hata Model.

1.

Introduction

Propagation models have traditionally focused on predicting the received signal strength at a given distance from the transmitter, as well as the variability of the signal strength in a close spatial proximity to a particular location. Propagation models that predict the signal strength for an arbitrary T-R separation distance are useful in estimating the radio coverage area of a transmitter. Conversely, propagation models that characterize the rapid fluctuations of the received signal strength over very short travel distances are called small-scale or fading models [1]. Propagation models are useful for predicting signal attenuation or path loss. This path loss information may be used as a controlling factor for system performance or coverage so as to achieve perfect reception. The common approaches to propagation modeling include physical models and empirical models. In this paper, only empirical models are considered. Empirical models use measurement data to model a path loss equation. To conceive these models, a correlation was found between the received signal

strength and other parameters such as antenna heights, terrain profiles, etc through the use of extensive measurement and statistical analysis. Radio transmission in a mobile communication system

often takes place over irregular terrain. The terrain profile of

a particular area needs to be taken into account for

estimating the path loss. The terrain profile may vary from a simple curved earth profile to a highly curved mountainous profile. A number of propagation models are available to predict path loss over irregular terrain. While all these models aim to predict signal strength at a particular receiving point or in a specific location called sector, the methods vary widely in their approach, complexity and accuracy. Most of these models are based on a systematic interpretation of measurement data obtained in the service area. In this paper, the wideband propagation performance of COST-231 Walfisch Ikegami and Hata models has been compared varying MS antenna height, propagation distance, and BS antenna height considering the system to operate at 850 MHz. Through the MATLAB simulation it turned out that the COST-231 Walfisch Ikegami model outperforms the other large scale propagation models.

2. Models for Predicting Propagation Path Loss

A good model for predicting mobile radio propagation loss

should be able to distinguish among open areas, sub urban areas and urban areas. All urban areas, hilly or flat areas are unique in terrain, buildings and street configurations. The models described in this paper are considered to design a prediction model for urban area. A good prediction model follows the same guidelines, so that every user gets the same answer for given conditions. Path loss may occur due to many effects, such as free- space loss, refraction, diffraction, reflection, aperture- medium coupling loss and absorption [2]. Path loss is also influenced by terrain contours, environment (urban or rural, vegetation and foliage), propagation medium (dry or moist air), the distance between the transmitter and the receiver, and the height of antennas. Path loss normally includes propagation losses caused

by

14

(IJCNS) International Journal of Computer and Network Security, Vol. 2, No. 10, 2010

The natural expansion of the radio wave front in free space. Absorption losses (sometimes called penetration losses) When the signal passes through media not transparent to electromagnetic waves and diffraction losses. The signal radiated by a transmitter may also travel along many and different paths to a receiver simultaneously; this effect is called multipath propagation. Multipath propagation can either increase or decrease received signal strength, depending on whether the individual multipath wave fronts interfere constructively or destructively. In wireless communications, path loss can be represented by the path loss exponent, whose value is normally in the range of 2 to 5 (where 2 is for propagation in free space, 5 is for relatively lossy environments) [1]. In some environments, such as buildings, stadiums and other indoor environments, the path loss exponent can reach values in the range of 4 to 6. On the other hand, a tunnel may act as a waveguide, resulting in a path loss exponent less than 2. The free-space path loss is denoted by L p (d) , which is

(1)

/

f c 4 P
f
c
4
P

L

p

( d

)

= -

20 log 10

Ê Á c

Ë

ˆ

˜

d ¯

(dB)

where c = velocity of light, f c = carrier frequency and d = distance between transmitter and receiver.

For long-distance path loss with shadowing, the path loss is denoted by L p (d), which is

n d ˆ L ( d ) µ Á Ê , d Ë ˜ p
n
d
ˆ
L
( d
)
µ
Á Ê , d
Ë
˜
p
d
0
¯
or equivalently,
L
( d
)
=
L
(
d
)
+
p
p
0

d

0

10 n log

10

(2)

( d d
(
d
d

)
0

(

dB

)

, d

d

0 (3)

where n = path loss component, d 0 = the close-in reference distance (typically 1 km for macro cells, 100m for micro cells), d = distance between transmitter and receiver.

3. Point-to-Point Prediction Models

Calculation of the path loss is usually called prediction. Exact prediction is possible only for simpler cases, such as the above-mentioned free space propagation or the flat-earth model. For practical cases the path loss is calculated using a variety of approximations. The area-to-area model provides path loss with long range of uncertainty. Point-to-Point prediction reduces the uncertainty range by applying the detailed terrain contour information to the path-loss predictions. Point-to-point prediction is very useful in mobile cellular system design, where the radius of each cell is 16 kilometers or less. It can provide information to insure uniform coverage and avoidance of co-channel interference. Statistical methods (also called stochastic or empirical) are based on fitting curves with analytical expressions that recreate a set of measured data. In the cities the density of people is high. So the more accurate loss prediction model will be a good help for the Base Station Transceiver System (BTS) mapping for

optimum network design. Among the radio propagation

models, city models are to be analyzed in this paper to find the best fitting city model. The well known propagation models for urban areas are:

i) COST-231 Walfisch Ikegami Model

ii) Hata Model

3.1 COST-231 Walfisch Ikegami Model

This model is being considered for use by International Telecommunication Union-Radio Communication Sector (ITU-R) in the international Mobile Telecommunications- 2000 (IMT-2000) standards activities [1]. This model is applicable for frequencies in the range of 150 to 1800 MHz. This utilizes the theoretical Walfisch-Bertoni model, and is composed of three terms:

L

0

(

d

)

=

L

0

L

0

+

L

rts

+

L

msd

forL

rts

L

rts

+

+

L

msd

L

msd

>

£

0

0

(4)

where L 0 represents the free space path loss, L rts is the

rooftop-street diffraction and scatterer loss, and L msd is the multi screen diffraction loss. The free space loss is given by

L

0 =

32.4

+

20log d

+

20 log f

(5)

Where d is the radio-path length (in km), f is the radio frequency (in MHz), and

L

rts

= -16.9 -10logw + 10log f + 20logDh

Mobile

+ L

ori

(6)

Here w is the street width (in m) and

Dh

Mobile

= h

Roof

- h

Mobile

(7)

is the difference between the height of the building on which the base station antenna is located, h Roof , and the height of the mobile antenna, h Mobile. L ori is the loss that arises due to the orientation of the street. It depends on the angle of incidence ( f ) of the wave relative to the direction of the street. L ori is given by

-

10

2.5

4.0

L msd is given by

L

ori

=

+

+

-

0.354 f

0.075 (

0.114 (

f

f

L msd

= L

bsh

+

k

a

+

k

d

log

-

-

d

35 )

55 )

+

k

f

for

log

f

0

35

55

0

0

0

£

f

<

£ f

£

<

f <

- 9log

b

35

55

90

0

0

0

(8)

(9)

Where b is the distance between the buildings along the signal path and L bsh and k a represent the increase of path loss due to a reduced base station antenna height. Using the abbreviation

(10)

Where h base is the base station antenna height, we observe that L bsh and k a are given through

Dh

Base

= h

Base

- h

Roof

(IJCNS) International Journal of Computer and Network Security,

15

L bsh

=

-

18 log( 1

0

+ D

k

a

54

= 54 0.8

-

D

54 1.6

-

D

h

h

Base

d

Base

h

Base

)

d

d

km

0.5

0.5 km

h

h

Base

Base

£

>

h

h

Roof

Roof

h

Base

> h Roof

h Base £ h Roof

h Base £ h Roof

(11)

(12)

The terms k d and k f control the dependence of the multiscreen diffraction loss versus distance and the radio frequency of operation, respectively. They are

k

18

-

d = 18

And

k f

= -

4

+

D h

Base

15

h Roof

Ê

0.7 Á

f

Ë 925

ˆ

-1 ˜

¯

h

Base

h

Base

>

£

h

Roof

h

Roof

(13)

(14)

for medium-sized cities and suburban centers with moderate tree densities and for metropolitan centers.

k f

= -

4

+

Ê

1.5 Á

f

Ë 925

ˆ

-1 ˜

¯

3.2 Hata model

(15)

It is an empirical formulation of the graphical path loss data provided by Okumaras model. The formula for the median path loss in urban areas is given by

L

50

(urban)(dB)

=

69.55

+

26.16 log f

c

-

13.82 log h

) log

te

-

a

(

h

re

) + (44.9 - 6.55 log

h

te

d

(16)

where f c is the frequency and varies from 150 to 1500 MHz, h te and h re are the effective height of the base station and the mobile antennas (in meters) respectively, d is the distance from the base station to the mobile antenna, and a(h re ) is the correction factor for the effective antenna height of the mobile which is a function of the size of the area of coverage [2]. For small to medium-sized cities, the mobile antenna correction factor is given by

a(h

re

) =(1.1log

f

c

-0.7)

h

re

-(1.56log

f

c

For a large city, it is given by

a ( h

re

) =

8.29(log1.54

3.2(log11.75

h

re

h

re

)

)

2

2

-

-

1.1

4.97

dB

dB

for

for

-0.8)

dB

(17)

f

c

f

c

£

300 MHz

300 MHz

(18)

When the size of the cell is small, less than 1 km, the street orientation and individual blocks of buildings make a difference in signal reception [3]. Those street orientations and individual blocks of buildings do not make any noticeable difference in reception when this signal is well attenuated at a distance over 1 km. Over a large distance the relatively great mobile radio propagation loss of 40 dB/dec is due to the situation that two waves, direct and reflected, are more or less equal in strength [4] [6]. The local scatterers (buildings surroundings the mobile unit) reflect this signal causing only the multipath fading not the path loss at the mobile unit. When the cells are small, the signal arriving at the mobile unit is blocked by the individual buildings; this weakens the signal strength and is considered

Vol. 2, No. 10, 2010

as part of the path loss [7] [9]. In small cells, the loss is calculated based on the dimensions of the building blocks.

Since the ground incident angles of the waves are small due to the low antenna heights used in small cells, the exact

height of buildings in the middle of the propagation paths is not important. Although the strong received signal at the mobile unit is come from the multipath reflected waves not from the waves penetrating through buildings, there is a correlation between the attenuation of the signal and the total building blocks, along the radio path.

4. Performance Analysis

In this paper, the propagation path loss has been assessed by considering the parameters BTS Antenna height, MS

Antenna height and T-R separation for the COST-231

Walfisch Ikegami and Hata models by MATLAB

simulation.

190 Ikegami Hata 185 180 175 170 165 160 30 40 50 60 70 80
190
Ikegami
Hata
185
180
175
170
165
160
30
40
50
60
70
80
90
100
Path loss (dB)

Base Station Antenna Height (Mt.)

Figure 1. Propagation path loss due to the change in the BTS antenna height.

190 Hata 185 Ikegami 180 175 170 165 160 155 150 145 3 4 5
190
Hata
185
Ikegami
180
175
170
165
160
155
150
145
3
4
5
6
7
8
9
10
Path loss (dB)

Mobile Antenna Height (Mt.)

Figure 2. Propagation path loss due to the change in the MS antenna height.

16

(IJCNS) International Journal of Computer and Network Security, Vol. 2, No. 10, 2010

Figure 1 depicts the variation of path loss with base station antenna height keeping the parameters MS antenna height and T-R separation constant. It is noted that path loss is decreasing due to increase in BTS antenna height for both models. However path loss continues to be low in COST- 231 model.

Figure 2 evaluates the path loss by varying MS Antenna height and fixing the other two parameters. As MS antenna height is increased, the path loss is decreased in this case.

Figure 3 illustrates the change in path loss upon change in T-R antenna separation distance. It is observed that the path loss is less up to 4 km radial distance for COST-231 model while the path loss is more beyond 4 km separation distance.

In cases 1 and 2 the path loss is low for both the models and in case 3 the trend is different beyond 4 kilometers separation between transmitter and receiver. Hence COST- 231 model may be preferred to design cellular network where the cell radius is less than 4 km. Hence this model is preferred for densely populated urban areas where call traffic is high.

240 Hata Ikegami 220 200 180 160 140 120 100 0 2 4 6 8
240
Hata
Ikegami
220
200
180
160
140
120
100
0
2
4
6
8
10
12
14
Path loss (dB)

Distance Between Base-station and Mobile-station (km.)

Figure 3. Path loss due to the change in T-R separation.

5.

Conclusions

In this paper, two widely known large scale propagation models are studied and analyzed. The analysis and simulation was done to find out the path loss by varying the BTS antenna height, MS antenna height, and the T-R separation. Cost-231 Walfisch Ikegami model was seen to represent low power loss levels in the curves. The result of this analysis will help the network designers to choose the proper model in the field applications. Further up-gradation in this result can be possible for the higher range of carrier frequency.

References

[1] Tapan K. Sarkar, M.C.Wicks, M.S.Palma and R.J. Bonnea, Smart Antennas, John Wiley & Sons, Inc., Publication, NJ, 2003. [2] M. A. Alim, M. M. Rahman, M. M. Hossain, A. Al- Nahid, Analysis of Large-Scale Propagation Models for Mobile Communications in Urban Area, International Journal of Computer Science and

Information Security, Vol. 7, No. 1, 2010, pp. 135139. [3] W.C.Y.Lee, Mobile Communications Design Fundamentals, Sec. Edition, John Wiley & Sons, Inc.,

1992.

[4] W.C.Y.Lee, Mobile Cellular Telecommunications, Sec. Edition, Tata McGraw-Hill Publishing Company Ltd., India, 2006. [5] Robert J. Piechocki, Joe P. McGeehan, and George V. Tsoulos, A New Stochastic Spatio-Temporal Propa- gation Model (SSTPM) for Mobile Communications with Antenna Arrays, IEEE Transactions on Communi--cations, Vol. 49, No. 5, May 2001, pp. 855

862.

[6] Frank B. Gross, Smart Antennas for Mobile Communications, The Mc-Graw Hill Companies, 2005. [7] C. Jansen, R. Piesiewicz , D. Mittleman and Martin Koch, The Impact of Reflections From Stratified Building Materials on the Wave Propagation in Future Indoor Terahertz Communication Systems, IEEE Transactions on Antennas and propagation, Vol. 56, No. 5, May 2008, pp. 14131419.

[8] J. C. Rodrigues, Simone G. C. Fraiha, Alexandre R.O. de freitas, Channel Propagation Model for Mobile Network Project in Densely Arboreous Environments, Journal of Microwaves and Optoelectronics, Vol. 6, No. 1, June 2007, pp. 236

248.

[9] A.R. Sandeep, Y. Shreyas, Shivam Seth, Rajat Agarwal, and G. Sadashivappa, Wireless Network Visualization and Indoor Empirical Propagation Model for a Campus WI-FI Network, World Academy of Science, Engineering and Technology, 42, 2008, pp. 730734. [10] J. B. Anderson, T.S. Rappaport and Susumu Yoshida, Propagation Measurements and Models for Wireless Communication Channels, IEEE Communication Magazine, January 1995, pp. 42-49.

AuthorsProfile

Y.Ramakrishna is currently a research student under Dr. P. V. Subbaiah. He received M.Tech. degree in Microwave Engineering from Acharya Nagarjuna University, India in 2005. He received B.E. degree in Electronics and Communication Engineering from the University of Madras, India in 2002. He is presently working as Senior Assistant Professor in the Department of Electronics and Communication Engineering, PVP Siddhartha Institute of Technology, Vijayawada, India. His research interests are: Mobile

Communication Engineering, PVP Siddhartha Institute of Technology, Vijayawada, India. His research interests are: Mobile

(IJCNS) International Journal of Computer and Network Security,

17

Communications,

Smart

Antennas,

Satellite

Communications.

Dr. P. V. Subbaiah received his Ph.D. in Microwave Antennas from JNT University, India 1995, His Masters degree in Control Systems from Andhra University, India 1982. He received B.E. degree in Electronics and Commu-nication Engineering from Bangalore University in 1980. He is currently working as Principal in Amrita Sai Institute of Science and Technology, Vijayawada, India since 2007. His research interest includes Microwave Antennas, Optical Communications and Mobile Communications.

Antennas, Optical Communications and Mobile Communications. V. Ratnakumari received M.Tech. degree in Microwave

V. Ratnakumari received M.Tech. degree in Microwave Engineering from Acharya Nagarjuna University, India in 2008. She received B.Tech. degree in Electronics and Communication Engineering from JNT University, India in 2005. She is presently working as Assistant Professor in the Department of Electronics and Communication Engineering, PVP Siddhartha Institute of Technology, Vijayawada, India. Her research interests are: Mobile communications and Signal Processing.

Vijayawada, India. Her research interests are: Mobile communications and Signal Processing. Vol. 2, No. 10, 2010

Vol. 2, No. 10, 2010

18

(IJCNS) International Journal of Computer and Network Security, Vol. 2, No. 10, 2010

Development of Smart Antennas for Wireless Communication System

T. B. Lavate 1 , Prof. V. K. Kokate 2 and Prof. Dr. M.S. Sutaone 3

1 Department of E & T/C ,College of Engineering Pune-5, Pune University Road, Shivajinagar Pune-5, India lavate.tb@r ediffmail.com

2 Department of E & T/C ,College of Engineering Pune-5, Pune University Road, Shivajinagar Pune-5, India

vkkokateetc@gmail.com

31 Department of E & T/C ,College of Engineering Pune-5, Pune University Road, Shivajinagar Pune-5, India mssutaone.extc@coep.ac.in

Abstract: In 3G wireless system the dedicated pilot is presented in the structure of uplink CDMA frame of IMT-2000 physical channels and this dedicated pilot supports the use of smart antennas. Switched beam smart antenna (SBSA) creates a group of overlapping beams that together results in omni directional coverage. To reduce the side lobe level and improve the SINR of SBSA non adaptive windowed beam forming functions can be used. In this paper performance of eight element linear SBSA with Kaiser-Bessel window function has been investigated using MATLAB and it is observed that the use of such SBSA at the base station of 3G cellular system improves the capacity by 26% compared to 120 o sectorized antennas. However these SBSAs provide limited interference suppression. The problem of SBSA can be overcome using adaptive array smart antenna. In this paper eight element adaptive array smart antenna is investigated where adaptive array smart antenna estimates the angle of arrival of the desired signal using MUSIC DOA estimation algorithm and received signal of each antenna element is weighted and combined to maximize SINR using RLS beam forming algorithm. When such adaptive array smart antenna employed at the base station of 3G cellular system, it provides 34%system capacity improvement.

Keywords: Adaptive array smart antenna, Beam forming algorithms, DOA, Switched beam smart antenna, System capacity.

1.

Introduction

The capacity of 3G wireless system using CDMA is measured in channels/km 2 and is given as [3]

C = W

[

/

R

]

[[

E

b

/

N

o

]

¥ A

c

]

(1)

where, W is Bandwidth of the system, R is data rate of user, A c is coverage area of the cellular system and E b /N o is the signal to interference plus noise ratio. From equation (1) it is evident that 3G CDMA system is still interference limited and the capacity of such wireless system can be improved by interference reduction technique such as smart antenna. The smart antenna types, their performance analysis in 3G cellular mobile system is investigated here.

2. Development of Smart Antennas

To reduce the multiple access interference (MAI) of 3G wireless communication system it is essential to make the antenna more directional or intelligent. All this leads us to the development of smart antenna. Depending upon the various aspects of smart antenna technology they are categorized as switched beam smart antenna and adaptive array smart antenna. In cellular system for macro cells angular spread (AS) at the base station is generally below 15 o and the upper bound on number of elements in the array is about 8 for AS of 12 o . Hence eight element smart antenna arrays are suggested for 3G cellular wireless system.

3. Development of Eight Element Linear Array Switched Beam Smart Antenna

3.1 Switched Beam Smart Antenna (SBSA)

The switched beam smart antenna (SBSA) has multiple fixed beams in different directions and this can be accomplished using feed network referred to as beam former and most commonly used beam former is Butler matrix. The receiver selects the beam that provides greatest signal enhancement and interference reduction as shown in Fig.1.

Be a m fo r m er
Be
a
m
fo
r
m
er

Beam-1

Beam-2

Select
Select

Signal

Beam output

Beam-3

Beam-4

Desired signal Direction

Figure 1

Switched Beam Smart Antenna

However SBSA solutions work best in minimal to moderate MAI scenario. But they are often much less complex and are easier to retrofit to existing wireless technologies.

(IJCNS) International Journal of Computer and Network Security,

19

3.2 Array Pattern of SBSA

In practice SBSA creates several simultaneous fixed beams through the use of Butler matrix. With Butler matrix for SBSA of N elements the array factor can be given as [4]

Vol. 2, No. 10, 2010

Kaiser-Bessel weight function provides minimum increase in beam width of main lobe and hence investigated in detail. The Kaiser Bessel weights are determined by

w n

=

I [ pa 1 - (( n /( N / 2) ) 2 ] o
I
[ pa
1
- ((
n
/(
N
/ 2) )
2 ]
o
I
pa
]
o [

(4)

AF (

q

)

=

sin[(

N

p

d

/

l

)

*

(sin

q

-

sin

q

l

)]

(

N

p

d

/

l

)

*

(sin

q

-

sin

q

l

)

(2)

where sinө = ℓλ/Nd; = ±1/2, ±3/2, ------- ± (N-1)/2. If element spacing is d =0.5λ the beams of SBSA are evenly distributed over the span of 120 0 and they are orthogonal to each other. Using MATLAB, equation (2) for N = 8 is simulated and simulation results are shown in Fig.2. It is obvious that 8 element SBSA forms 8 spatial channels which are orthogonal to each other. Each of these spatial channels has the interference reduction capability depending on side lobe level (γ). It is apparent from Fig.2 that the array factor

0 -5 -10 -15 -20 -25 -30 -35 -40 -45 -50 -60 -40 -20 0
0
-5
-10
-15
-20
-25
-30
-35
-40
-45
-50
-60
-40
-20
0
20
40
60
Normalized power gain(dB)

, in the array. The Kaiser Bessel normalized weights for N = 8 are found using the Kaiser (N α ) command in MATLAB. With these weights the equation (3) is simulated using MATLAB and results are presented in Fig.4.

N/2, α > 1, N is the number of elements

where, n = 0,…

0 Kaiser-Bessel Boxc ar window -10 -20 -30 -40 -50 -60 -90 -60 -30 0
0
Kaiser-Bessel
Boxc
ar window
-10
-20
-30
-40
-50
-60
-90
-60
-30
0
30
60
90
q
|AF|dB

Figure 4 Array factor with Kaiser-Bessel weights and N=8

Fig.4 shows that Kaiser Bessel function provides side lobe suppression γ = -33 dB but with minimum increase in main lobe beam width = 1.2

Figure 2.

AOA

SBSA Array pattern for number of antenna elements N = 8.

4.

Development of Eight Element Adaptive Array Smart Antenna

4.1 Adaptive array smart antenna

of SBSA has side lobe levels γ=-16 dB. These harmful side lobes of SBSA can be suppressed by windowing the array elements as shown Fig. 3. [4],

y Ѳ w 1 w 2 w N/2 d
y
Ѳ
w 1
w 2
w N/2
d
w 2 w 1 w N/2
w 2
w 1
w N/2

Figure 3 . N Element linear antenna array with weights

The array factor of such N linear element windowed array is given by

AF

n

(

q

)

=

N

Â

n

/ 2

= 1

w

n

cos(((2

n

-

1) / 2)

kd

sin

q

)

(3)

To determine the weights w n the various window functions such as Hamming, Gaussian and Kaiser-Bessel weight functions can be used in eight element SBSA. Out of these,

Adaptive array smart antennas are the array antennas whose radiation pattern is shaped according to some adaptive algorithms. Smart essentially means computer control of the antenna performance. Actually adaptive array smart antenna is an array of multiple antenna elements which estimates the

angle of arrival of the desired signal using DOA estimation algorithms [8] such as MUSIC (Multiple signal

classification) or ESPRIT (Estimation of signal Parameters

via Rotational invariant Techniques). The estimated DOA is
x

used for beam forming in which the received signal of each antenna element is weighted and combined to maximize the desired signal to interference plus noise power ratio which essentially puts a main beam of an antenna in the direction of desired signal and nulls in the direction of interference. The weights of each element of an array may be changed adaptively [5] and used to provide optimal beam forming in the sense that it reduces MSE (Mean Square Error) between desired signal and actual signal output of an array. Typical algorithms used for this beam forming are LMS (Least Mean Square) or RLS (Recursive Least Square) algorithms.

20

(IJCNS) International Journal of Computer and Network Security, Vol. 2, No. 10, 2010

As this smart antenna generates narrower beams it creates less interference to neighboring users than switched beam approach. Adaptive smart antennas provide interference

Ѳ1 Ѳ2 ѲD
Ѳ1
Ѳ2
ѲD

Figure 5.

N signal ports

X1(k) W1
X1(k)
W1
X2(k) W2
X2(k)
W2
XN(k) WN
XN(k)
WN
∑
∑
∑
∑
∑

∑

Beamformer5 . N signal ports X1(k) W1 X2(k) W2 XN(k) WN ∑ Mobile location data Source

Mobile location

data

Source Estimation Processor
Source
Estimation
Processor

DOA Estimation Algorithms eg; Music, ESPRIT

N element Adaptive antenna array with D arriving signals

rejection and spatial filtering capability which has effect of improving the capacity of wireless communication system. MUSIC DOA estimation algorithm is highly stable, accurate and provides high angular resolution compared to all other DOA estimation algorithms. Similarly RLS [6] beam forming algorithm is faster in convergence and hence MUSIC and RLS algorithms are suitable for mobile communication and they are investigated much in detail.

4.2 MUSIC Algorithm MUSIC is an acronym which stands for multiple signal classification and it is based on exploiting the eigen structure of input covariance matrix. As shown in Fig.5, if the number of signals impinging on N element array is D the number of signal eigen values and eigenvectors is D and number of noise eigen values and eigenvectors is N-D. The array correlation matrix with uncorrelated noise is given by [4],

(5)

where, A = [a(θ 1 ) a(θ 2 ) a(θ 3 ) --- a(θ D )]is NxD array steering matrix R ss =[s 1 (k) s 2 (k) s 3 (k) ---- s D (k)] T is D x D source

R

xx

=

A

*

R

ss

*

A

H

+ s

2

n

I

correlation matrix. R xx has D eigenvectors associated with signals and N D eigenvectors associated with the noise. We can then construct the N x (N-D) subspace spanned by the noise eigenvectors such that

V

N

=

[

v

1

,

v

2

,

v

3

- -

- -

v

N

-

D

]

(6)

The noise subspace eigenvectors are orthogonal to array steering vectors at the angles of arrivals θ 1, θ 2, θ 3, --- θ D and

the MUSIC Pseudospectrum is given as

P

MUSIC (

q

)

=

1/

abs a

(

(

q

)

H

H

V V

N

N

a

(

q

))

(7)

However when signal sources are coherent or noise variances vary the resolution of MUSIC diminishes. To overcome this we must collect several time samples of relieved signal plus noise, assume ergodicity and estimate the correlation matrix via time averaging.

4.3 Simulation results of MUSIC algorithm

For simulation of MUSIC algorithm MATLAB is used and the array used is eight element linear array with,

* Spacing between array elements d =0.5λ

* DOAs of desired signals : -5 0 , 10 0 and 25 0

10 K=10 5 K=100 0 -5 -10 -15 -20 -25 K=10 -30 K=100 -35 -40
10
K=10
5
K=100
0
-5
-10
-15
-20
-25
K=10
-30
K=100
-35
-40
-30
-20
-10
0
10
20
30
40
|P( q )|db

Figure 6.

AOA Degrees

MUSIC Spectrum for N = 8 and DOA = -5 0 , 10 0 and 25 0 .

Fig.6 shows the MUSIC spectrum of eight element adaptive array smart antenna obtained for snapshots equal to 10 and 100 and direction of arrivals of desired signals are -5 0 , 10 0 and 25 0 . Increased snap shots leads to sharper MUSIC

spectrum peaks indicating more accurate detection of

desired signals and better resolution.

4.4 RLS Beam forming algorithm

Since signal sources can change with time, we want to de- emphasis the earliest data samples & emphasis the most recent ones & this can be accomplished by modifying the co- relation matrix & co-relation vector equations such that we forget the earliest time samples. Thus

and

R k

(

)

=

k

Â

i = 1

a

k

-

i

( )

X i

X

H

( )

i

(IJCNS) International Journal of Computer and Network Security,

21

r

(

k

)

=

k

Â

i = 1

a

k

-

i

d

* ( )

i

X

H

( )

i

where α is the forgetting factor & it is positive constant such that

0 ≤ α ≤ 1

Following the recursion formula for above equation the gain vector,

g

(

k

)

=

 

a

-

1

R

-

1

(

k

-

1)

X

(

k

)

1

+

a

-

1

X

H

(

k

)

R

-

1

(

k

-

1)

X

(

k

)

After

algorithm,

k th iteration

the weight update equation

for

W(k)=W(k-1)+g(k)[d * (k)-X H (k)W(k-1)]

(8)

RLS

(9)

In RLS there is no need to invert large co-relation matrix. The recursive equations allow for easy updates of inverse of the co-relation matrix. The RLS algorithm also converges much more quickly than the LMS algorithm hence it is recommended to use RLS algorithm for adaptive array beam forming.

4.5 Simulation results of RLS algorithm

For simulation of RLS algorithm eight element linear array is used with,

* Spacing between array elements d = 0.5λ

* DOA of desired signal = 25 0

* DOA of Interfering Signals = - 45 0 and +45 0 N=4 1 N=8
* DOA of Interfering Signals = - 45 0 and +45 0
N=4
1
N=8
0.8
N=4
0.6
0.4
N=8
0.2
0
-90
-60
-30
0
30
60
90
|AF n |

AOA (deg)

Figure 7 .Adaptive beam forming using RLS algorithm.

Fig.7 shows the eight element adaptive array smart antenna with MUSIC and RLS algorithm which puts the main beam in the DOA of 25 o of desired signal and nulls in the direction of interfering signals at - 45 o and 45 o i.e. this array

Vol. 2, No. 10, 2010

accepts the signal at 25 o and rejects the signals at + 45 o and

thus improves the SINR of the wireless system. Fig.7 also shows that as the number of elements in the array are increased from

four to eight DOA detection and beam forming in the desired direction becomes more accurate and highly stable.

5. Performance Analysis of Kaiser-Bessel Windowed SBSA and adaptive Array Smart

Antenna with MUSIC and RLS Algorithm

We consider the DS-CDMA system in which the data is modulated using BPSK format. We assume that the PN code length M = 128 and the power of each mobile station is perfectly controlled by the same base station BS. The bit error rate (BER) for DS-CDMA, 120 0 sectorized systems is given by [1],[2],

P

e

=

Q

Ï

Ô

Ì

Ô

Ó

- 1 ( k ) È K E / N M 1 ˘ Â b
-
1
(
k
)
È
K
E
/
N
M
1
˘
Â
b
o
Í
+
˙
(1)
(1)
3 E
N
2 E
N
Î
Í
˚
˙
k = 2
b
o
b
o

¸

Ô

˝

Ô

˛

(10)

where Eb (1) /N 0 is SINR for user of interest #1, Eb (k) /N 0 is the same for interfering users. We extended equation (10) to switched beam smart antenna

as[9]

P e

=

+

k 3

Â

k = 2

˘ - 1 ¸ ( k ) E g / N M 1 Ô b
˘ - 1
¸
(
k )
E
g /
N M
1 Ô
b
O
+
˙
˝
(1)
(1)
3 E
/
N
2 E
N
o
b
o
˚
˙
Ô
b
˛
Ï È ( k ) K 1 Ô g k 2 ( k ) E
Ï È
(
k )
K 1
Ô
g
k 2
( k )
E
/ N
E
/ N
Â
b
o
Â
b
O
Q
Ì
Í
+
(1)
(1)
3 E
3 E
/
Ô N
Î Í N
k
= 2
k
= 2
b
o
b
Ó o

(11)

where k 1 is the number of interfering users with same PN code like user #1, affected side lobe, k 2 is the number of interfering users affected main lobe & k 3 is like k 2 but affected side lobes. For Boxcar (non windowed) SBSA the side lobe level (as shown in fig.2) γ= -16 db. While as Kaiser-Bessel weights can be selected for SBSA so that its side lobe level (as shown in fig.4) can be reduced to γ=-33db. We extended the equation (11) to eight element adaptive array smart antenna with MUSIC and RLS algorithm as

P

e

=

Q

Ï

Ô

Ì

Ô

Ó

( k ) È K 2 E / N M 1 ˘ o Í Â
(
k
)
È
K 2
E
/
N
M
1
˘
o
Í
Â
b
+
˙
(1)
(1)
3 E
N
2 E
N
˙
Í Î k = 2
b
o
b
o

- 1

˚ Ô

˛

¸

Ô

˝

(12)

where E b (1) /No is SINR for user of interest #1, E b (k) /No is the same for interfering users. K2 is the number of user affected main lobe. In adaptive array smart antenna with MUSIC and RLS algorithm the side lobe level γ is reduced to insignificant magnitude. Now using MATLAB the equations (10) and (11 ) and (12) are simulated and simulation results are presented in Fig.8 where Pe is a function of Eb/No and number of active users is 100 in service area . As follows from Fig.8 for fixing level of Pe for 3G cellular mobile communication system acceptable Pe=10 -4 , the required Eb/No by the application of SBSA, Kaiser Bessel windowed

22

(IJCNS) International Journal of Computer and Network Security, Vol. 2, No. 10, 2010

SBSA and adaptive array with MUSIC and RLS are determined and capacity improvements of 3G cellular system using (1) are found and as follows from the Fig.8 the use of adaptive array

smart antenna in 3G cellular system provides maximum capacity improvement. 0 10 120 deg. sect.
smart antenna in 3G cellular system provides maximum
capacity improvement.
0
10
120 deg. sect. Antenna
Boxcar SBSA
Kaiser-Bessel SBSA
-2
10
Adaptive array
-4
10
-6
10
-8
10
-10
10
0
2
4
6
8
10
12
14
Pe

SINR dB

Figure 8. BER Performance of SBSA and Adaptive array smart antenna

6. Conclusion

The array pattern of eight element SBSA has side lobe level -16 dB and when used in 3G CDMA system improves the capacity by 16.8% compared to sectorized antennas. But the Kaiser-Bessel weight function with SBSA provides side lobe suppression to -33dB with minimum increase in main lobe beam width (D=1.2) and when it is used in 3G CDMA cellular mobile wireless system, it improves the system capacity by 26 %. Further the adaptive array smart antennas with MUSIC DOA estimation algorithm & RLS beam forming algorithm rejects the interfering signal completely. When such adaptive array smart antenna is employed in 3G CDMA wireless cellular mobile system it improves the system capacity by 34 %.

References

[1] T. S. Rappaport, Wireless Communications: Principles and Practice, 2005 ,Prentice Hall . [2] J. C. Liberti, T. S. Rappaport, Smart Antennas for Wireless Communications: IS-95 and 3G CDMA Applications, 1999,Prentice Hall [3] Ahmed EI Zooghby, Smart Antenna Engineering, Artech House, 2005 [4] Frank Gross, Smart Antennas for Wireless Communication with MATLAB, McGraw-Hill, NY,

2005

[5] Simon C. Swales, David J. Edwards and Joseph P.McGeehan, The performance Enhancement of

Multibeam Adaptive Base Station Antennas for Cellular Land Mobile Radio Systems, IEEE Transactions on Vehicular Technology, vol.3, No.1 pp 56-67, February

1990

[6] Ch. Shanti , Dr. Subbaiah, Dr. K. Reddy, Smart Antenna Algorithms for W-CDMA Mobile Communication systems, IJCNS , International Journal of Computer Science and Network Society vol.8 No.7 July 2008. [7] A. Kundu, S. Ghosh, B. Sarkar A. Chakrabarty, Smart Antenna Based DS-DMA System Design for 3 rd generation Mobile Communication, Progress in Electromagnetic Research M, Vol.4, 67-80, 2008 [8] Lal C. Godara, Application of Antenna Arrays to Mobile Communications, Part-II: Beam forming and

Directional of Arrival, Proceedings of the IEEE vol.85 No.88 pp. 1195-1245 August 1997. [9] David Cabrera, Joel Rodriguez, Switched Beam Smart Antenna BER Performance Analysis for 3G CDMA Cellular communication, May 2008 [10] N. Odeh, S. Katun and A. Ismail, Dynamic Code Assignment Algorithm for CDMA with Smart Antenna

System, Proceedings IEEE, International Conference

on communication, 14-17, May 2007, Penang Malaysia

Authors Profile

T. B. Lavate received M.E.(Microwaves) degree in E & T/C in

2002 from pune university. He is pursuing his Ph.D in college of engineering Pune-5. In his credit, he has about eleven papers published in international/national repute conferences and journals. He is member of IETE/ISTE.

V. K. Kokate received M.E.(Microwave) from pune university.

Having over 35 years experience in teaching and administrative, his fields of interest are Radar, Microwaves, and Antennas. In his credit, he has about forty papers published in national / international repute conferences and journals. He is member of ISTE / IEEE.

Dr. M. S. Sutaone received his B.E. in electronics from Vshveswarayya National Institute of Technology (VNIT) Nagpur in 1985. He did his M.E. in E & T/C from college of engineering Pune-5 in 1995and Ph.D. in 2006 from Pune University. He is currently professor and HOD in E & T/C department of college of engineering Pune-5. His areas of interest are signal processing , Advanced communication systems and communication networks. In his credit, he has about twenty five papers published in international/ national repute conferences and journals. He is member of ISTE /IETE.

(IJCNS) International Journal of Computer and Network Security,

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Vol. 2, No. 10, 2010

Accumulation Point Model: Towards Robust and Reliable Deployment

Yong Lin, Zhengyi Le and Fillia Makedon

416 Yates Street, P.O. Box 19015, Arlington, TX 76019, USA ylin, zyle, makedon@uta.edu

Abstract: The reliability and fault tolerance problems are very important for long strip barrier coverage sensor networks. The Random Point Model and the Independent Belt Model are prevalent deployment models for barrier coverage. In this paper, we propose an economical, robust and reliable deployment model, called Accumulation Point Model (APM). Given the same length of barrier and the same nodes activation rate, the number of sensors required by APM is only 1/[t(1 -θ)] times that of random point model. Our analysis indicates that the network failure probability of the APM is lower than the other two models. In our network simulation, the network lifetime of APM is much higher than random point model. Compared with independent belt model, APM exhibits good failure tolerance. This paper also presents a light weight accumulation point protocol for building the network and scheduling the sleep cycle. This is a localized algorithm for k-barrier coverage.

Keywords: sensor networks, barrier coverage, fault tolerance, sensor deployment.

1.

Introduction

Barrier coverage sensor networks are deployed in a belt region to detect traversing targets. When barrier areas are very long, the deployment problem becomes more prominent. Sensor networks are usually composed of thousands of relatively economical, energy constraint and hence failure-prone sensors [9][10]. How to guarantee the reliability and robustness is an important issue of sensor network quality of service (QoS). Most of the applications require the sensor network to be reliable and robust. For example, for a barrier sensor network deployed in a military field or a country border, it is highly expected that the belt be strong enough and resist to failure. Current solutions for the reliability and fault tolerance ability of sensor networks focus on increasing the node density [10]. This idea is originated from area coverage. In a large plane, it is hard to deploy sensors precisely in a regular geometric shape due to the deployment cost. So the stochastic deployment is often used instead of deterministic deployment. Random point model is a kind of stochastic deployment. It works on the following assumptions: (1) when the node density reaches a threshold, the coverage and connection can be guaranteed, and (2) if we increase the node density further, the sensor network can be robust and failure proof. Since barrier coverage considers a narrow strip region, it is different from area coverage. Node failure is a major concern in barrier coverage. In area coverage, if a node fails, there might be a blind spot, but the entire system can still work. However, in barrier coverage, the field of interest (FoI) is a long strip area, if a sensor node fails, it is possible to disconnect the communication link and break the monitoring belt. This

will be a serious malfunction. In this paper, we address the reliability and fault tolerance problems of barrier coverage by proposing an asymptotic regular deployment model, called Accumulation Point Model (APM). Barrier coverage considers a long strip region, not a plane like area coverage. This makes the deterministic deployment possible. Summarized from previous literature, there are two models to deploy sensors in barrier coverage: Random Point Model (RPM) and Independent Belt Model (IBM). RPM is to deploy sensors randomly in FoI. While IBM is a regular deployment model, it separates the belts into two sets, the working belts set and the backup belts set. With the same length of barrier and the same node activation rate, our APM requires 1/[t(1-θ)] times the number of sensors compared with RPM, where θ is the overlap factor denoting the overlap degree, t is used by activation rate k/t for k-barrier coverage. Our theoretical analysis proves the failure probabilities of RPM and IBM are higher than APM. The simulation results indicate that the network lifetime of APM is the best of the three deployment models. If we use poor quality sensors, the network lifetime decreases a little in APM. RPM is also robust for poor quality sensors, but its absolute network lifetime is only 1/4 times that of APM. IBM works well for good quality sensors, but it gets extremely bad when we use sensors that have a high failure rate. APM has a high performance to price ratio compared with other models. The concepts of barrier belt and barrier graph are introduced to make a precise description of barrier coverage. In a barrier graph, the sensor nodes are divided into a barrier brother set and a barrier neighbor set. The barrier graph of APM is a result of three types of eliminations of the redundant nodes. This can be seen as an application of the relative neighborhood graph (RNG(G)) [4] on barrier coverage. APM is made up of multiple accumulation points,

denoted as A k . Every accumulation point contains t

t

sensors, k of them active. By this structure, we build strong k-barrier coverage [11].

2. Related Work

The concept of barrier coverage first appeared in [7]. Kumar et al. formalized the concept of k-barrier coverage as a barrier of sensors, such that it can guarantee that any penetration be detected by at least k distinct sensors [11]. Wang et al. consider the relationship of coverage and connection [14], if R C >2R S , where R C is the communication radius and R S is the sensing radius, k-coverage means k-

connection. In APM, we demonstrate that in A k

t

accumulation belt, the connection degree is at least 3k-1. A series of research has been taken to schedule sleep and

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(IJCNS) International Journal of Computer and Network Security, Vol. 2, No. 10, 2010

maximize the lifetime of sensor network. Most of them were for area coverage, such as [6] and [8]. Only two algorithms are proposed for barrier coverage [13]. It uses IBM and RPM to address the sleep-wakeup problem for homogeneous lifetime and heterogeneous lifetime. Another important metric of sensor network in barrier coverage is the fault tolerance. Many papers propose the use high sensor density to provide redundancy [1][5][10][15]. It is generally believed that sensors are relatively economical and unreliable devices, therefore high density is required to provide a reasonable level of fault tolerance. This high density assumption belongs to RPM for both area coverage and barrier coverage. For barrier coverage, the centralized algorithms are introduced in [11][13]. An L-zone localized algorithm is provided in [2] for k-barrier coverage. Our APM uses a localized algorithm based on accumulation points, a subset of sensor nodes that locate closely together. Weak barrier coverage and strong barrier coverage were introduced in [11]. Weak barrier coverage assumes only when the intruder does not know the traverse path will it be detected with high probability. The QoS improvements are discussed in [3][12]. In this paper, we assume the quality is important and all of the assumptions are based on strong barrier coverage.

3. Preliminary and Network Model

3.3 Barrier Belt and Barrier Graph

Assume the coverage of sensor is a unit disk with sensing radius R. A Coverage Graph G = (V,E) indicates that for

the active sensor set V , for

<2R, then there is an edge e uv E. There are two virtual nodes s, t V, corresponding to the left and right boundaries. Barrier Space is the field of interest for barrier coverage. It is a long strip physical region with arbitrary shape and deployed by the barrier sensors.

u, v V , if the distance d uv

by the barrier sensors. ∀ u, v V , if the distance d u v From

From above introduction, we can summarize the properties of the barrier belt as 1) There is no loop in a barrier belt; 2) It is possible that there are crossing edges of two distinct barrier belts in a barrier graph; 3) Except for the virtual terminal nodes {s, t}, there is no shared node for two distinct barrier belts in a barrier graph.

Theorem 1. A sensor network barrier space is k-barrier covera ge iff k ba rrier belts in the ba rrier gra ph. Proof: If each crossing path is covered by k distinct sensors, then it must be that these k distinct sensors belong to k not

intersected barrier belts.

3.4 Redundancy Elimination and Minimum Barrier Belts

A barrier graph contains a set of sensors that are active for

barrier coverage. But what is more meaningful is a minimum set of sensors to meet the QoS. The redundant sensors need to be eliminated or scheduled to sleep.

sensors need to be eliminated or scheduled to sleep. To change a coverage graph to a

To change a coverage graph to a barrier graph, first we have to eliminate the round trip edges. We call this kind of elimination to be Type I Elimination. There is a very special kind of redundant node - the single edge node. If a node (not including the virtual terminal nodes) has only one edge in a coverage graph, then it has to be eliminated in a barrier

graph. This is called Type II Elimination. The result of type

I, II eliminations is a barrier belt. However, this barrier belt

is not the minimum barrier belt. So we need Type III Elimination, by which we eliminate the redundant nodes, so that we can use the minimum number of nodes to meet QoS requirement. We get two reasons for type III elimination:

first, we can schedule the redundant nodes to sleep, so that if an active node depletes, a redundant node can take its place; second, the redundant nodes are also possible to be utilized

by other barrier belts.

are also possible to be utilized by other barrier belts. Figure 1. Redundancy Elimination and Minimum

Figure 1. Redundancy Elimination and Minimum Barrier Graph

Let us take Fig. 1 as an example, to show more details about three types of elimination. First we get a coverage graph from the coverage relationship of sensors. The edge set {e af , e fb , e cd } V . But as for a barrier graph, every node can only has two edges to support the barrier. So in this barrier graph, edges {e af , e fb , e cd } are eliminated. However, this is only one barrier graph. There are several other barrier graphs for this example; this leaves as an exercise for readers. For this barrier graph G b = (V b ,E b ). Since {e ab , e cd } are edges of the coverage graph, e and f are redundant nodes. After the elimination of e, f, we get the final minimum barrier graph. If a node is eliminated from the minimum barrier graph, and it is not utilized by other

(IJCNS) International Journal of Computer and Network Security,

25

barrier belts, then it is a Backup Node in the belt. A backup node keeps sleeping until one of the working nodes depletes its energy or fails. A backup node is also called a sponsor node. A Backup Belt is a redundant barrier belt in the barrier region. It keeps sleep until one of the working belts depletes or fails. If the minimum number of active sensors that is required by a certain QoS is denoted as n k , the total number of sensors deployed in the field of interest denoted as n t , then the Activation Rate ρ a = n k /n t . If a k-barrier coverage degrades the QoS: leaving a barrier hole, or breaking the communication link, such that the whole system is no more k-barrier monitored. Suppose we cannot find a backup node to take the place of a failed node, nor can we find a backup belt to work instead of the failed barrier belt, then we consider the k-Barrier Coverage Fails.

3.3.1 Overlap Factor and Minimum Pass-through Distance

For edge e bc V b in G b , the overlap factor θ reflects a overlap degree of the sensing area for node b and c. If we link b, c by line bc (see Fig. 2). The intersection points for bc with the circle of the sensing disk of b, c are A,B. Then the overlap factor θ is

disk of b, c are A,B. Then the overlap factor θ is The θ cannot be

The θ cannot be 1, or else it conforms to type III elimination. In barrier coverage, an important metric for detection quality for an unauthorized traverse is the Minimum Pass-through Path, and its distance is the Minimum Pass-through Distance. In the minimum pass- through path, a moving target has the least possibility to be detected by sensors. So, the minimum pass-through distance is an important QoS metric for a whole barrier.

Lemma 1. The minimum pass-through path for barrier coverage is the intersection line of the sensing disks of neighbor nodes.

Proof: From Fig. 2, we know the intersection line of the sensing disks for b, c is CD. Suppose E is a point outside both intersection regions of the sensing disks, and EN is vertical

regions of the sensing disks, and EN is vertical The area of CAF is A C

The area of CAF is A CAF = (2Rsin α)(2Rcos α)/2 =R2 sin

EAF = R2 sin (π − 2β). Since α > β,

we get A CAF < A EAF . Also, A CAF =R d CM , and A CAF = R d EN , so we have d EN > d CM . Then it is easy to know that d CD = 2d CM is the minimum path to pass-through the circle.

(π − 2α). The same, A

Theorem 2. For a barrier coverage system with an overlap

factor

θ

for

through

any neighbor

sensors, the minimum pass-

θ for through any neighbor sensors, the minimum pass- Vol. 2, No. 10, 2010 Figure 2.

Vol. 2, No. 10, 2010

any neighbor sensors, the minimum pass- Vol. 2, No. 10, 2010 Figure 2. Overlap Factor and

Figure 2. Overlap Factor and Minimum Pass-through Distance

4. Categories of Barrier Deployment

Deterministic deployment is hard for area coverage due to a large plane area. So, stochastic deployment is often used in area coverage. While the barrier coverage concerns a long strip region, we need to reconsider the deterministic and stochastic deployment in barrier space. In this chapter, we summarize two existing deployment models of barrier coverage, and we propose a new model - the accumulation point model. Let us discuss these models in more detail.

4.1 Random Point Model

Random Point Model (RPM) for barrier coverage is a sensor network whose nodes distributed along a belt region randomly, according to uniform distribution or Poisson distribution, such that the sensors can be deployed equally at any location of the belt region. In RPM, nodes are often denoted by the node density λ. The model is based on the assumption that the deployment of sensors in deterministic geometric shape in a large area is not practical due to the large amount of deployment cost. So we can deploy sensors in FoI randomly. Given enough amount of sensors, and if we do not care how many times we deploy the sensors, then λ is expected to be the same in each point of FoI. When λ reaches a certain threshold value, both coverage and connection can be guaranteed. In RPM, we need to find out the minimum set of sensors to support the whole system, and put the other sensors sleep. When the coverage and connection cannot meet, some of the sleeping sensors will wake up to join the minimum serving set.

Theorem 3. For a k-barrier coverage system built in random point model with an activation rate ρ a = k/t, denote

as R

with width 2R, where R is the sensing radius of a sensor. Then total barrier length l r 2Rn r /t 2 .

k

t

. There are n r sensors deployed in the barrier space

RPM, if the density is high enough, then

sensors are deployed in the barrier space according to uniform distribution. Each sensor will be deployed in a square domain with edge

Proof:

In

will be deployed in a square domain with edge Proof: In In the barrier space, to

In the barrier space, to support the k-barrier coverage with activation rate ρ a = k/t, we need to have

with activation rate ρ a = k/t, we need to have So we get l r

So we get l r 2Rn r /t 2 . If the length l r = l is given, then we know that the number of sensors required to support k-barrier coverage under RPM is

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(IJCNS) International Journal of Computer and Network Security, Vol. 2, No. 10, 2010

of Computer and Network Security, Vol. 2, No. 10, 2010 Figure 3. Barrier Coverage Sensor Network
of Computer and Network Security, Vol. 2, No. 10, 2010 Figure 3. Barrier Coverage Sensor Network

Figure 3. Barrier Coverage Sensor Network Deployment Models

Figure 3. Barrier Coverage Sensor Network Deployment Models Figure 4. Barrier Graph and Coverage Graph If

Figure 4. Barrier Graph and Coverage Graph

If a k-barrier coverage system is build under random point model, there are n r sensors deployed in the barrier space with width 2R, where R is the sensing radius of a sensor. Denote the activation rate as ρ a = k/t, then the overlap factor θ r for the neighbor nodes is

then the overlap factor θ r for the neighbor nodes is From Equ. (3), we get

From Equ. (3), we get θ r 1 1/t. When t > 2, θ r > 1/2, we know it will result in a type III elimination to schedule a neighbor node to sleep.

4.2 Independent Belt Model

Independent Belt Model (IBM) for barrier coverage is a sensor network whose nodes distributed along a belt region according to several independent barrier belts: some are active belts, in which all of the nodes are working, and others are backup belts, in which all of the nodes are sleeping. The assumption for IBM is that for the barrier coverage system, we can deploy sensors belt by belt, and make these belts work independently. Here we assume the system has already been optimized by three types of elimination. Each active belt uses the minimum number of sensors.

4.3 Accumulation Point Model

4.3.1 Description of Model

Definition 3. Accumulation Point An accumulation point is a subgraph G a = (V a , E a ) of a sensor network barrier graph

G b = (V b ,E b ), such that for u

the distance d uv < R iff v

V a , v V b such that

e uv œ

E

a

.

V a and the edge

V b such that e uv œ E a . V a and the edge Definition

Definition 4. Neighbor Point If G a1 , G a2 are two accumulation points of a sensor network barrier graph G b =

(V b ,E b ), for u G a1 , v G a2 such that e uv we say G a2 is a neighbor point of G a1 .

For a pair of neighbor points G a1 , G a2 , for node a G a1 , node b G a2 , a is the Neighbor Node of b and vice versa. For a, c G a1 , c is the Brother Node of a and vice versa. For each node, the barrier neighbors are separated into barrier left neighbors and barrier right neighbors according to local address information. Accumulation Point Model (APM) for barrier coverage is

a sensor network whose nodes distributed along a belt

region according to a set of accumulation points {G a1 , G a2 ,

[1, n]. For

G b , then

, G an }. For any node b not in {s, t}, b

G ai , i

a long strip region, actually it is easier to deploy sensors in a series of accumulation points rather than to deploy them randomly.

Lemma 2. For any accumulation point G a = (V a ,E a ) in a

barrier graph G b = (V b , E b ), if node A, B cannot be within a same barrier belt.

Proof: Use type III elimination if A, B are in the same belt.

Lemma 3. For a long strip barrier coverage system that has an arbitrary shape, if it is based on accumulation point model, for any accumulation point G a , it has and only has two neighbors.

G a , A and B

Proof: Use type I, II elimination for more neighbors.

Theorem 4. If a barrier coverage system is based on accu-

Theorem 4. If a barrier coverage system is based on accu- A barrier belt has two

A

barrier belt has two virtual terminal nodes, so the number

of

vertices equals to the number of accumulation points plus

2,

the number of edges equals to the number of

accumulation points plus 1.

4.3.2 Accumulation Deduction

Degree

and

Accumulation

Definition 5. Accumulation Degree An accumulation degree is a metric that indicates how well the nodes are

accumulated. We denote it as A k , 0 k t. Here t is the

t

total number of nodes in an accumulation point, and k is the number of active nodes required to meet the quality of service.

Specifically,

A 0 0 =ø, i.e. there is no sensor at all.

A

0